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Individuals Barred by FINRA in May 2018 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for May 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Benjamin Glasser Aibel   Wunderlich Securities,Inc
  Sanders Morris Harris Inc
  Carter Page Brooks   Wells Fargo Clearing Services, LLC
  Edward Jones
  Walter Lee Clark   Wilmington Capital Securities, LLC
  Adirondack Trading Groups LLC
  Christian Colon   Ausdal Financial Partners, Inc.
  UBS Financial Services Inc.
  Randolph Lee Eddlemon III   Geneos Wealth Management, Inc.
  Schooner Financial Associates
  Carlos Nestor Evertsz-Seda   K.C. Ward Financial
  J.P. Turner & Company, LLC
  Kenneth Taylor Foreman   Securities America, Inc
  Foothill Securities, Inc
  Sherie Irene Gaunt   Gill Capital Partners
  Kimberly Pine Kitts   Royal Alliance Associates, Inc
  Sound Financial, LLC
  Peter Jack Margaros   State Farm VP Management Corp
  James Albert Pettit   Ameriprise Financial Services, Inc
  Janney Montgomery Scott LLC
  Keisha Diane Pizzo
  Eric P. Poage    Edward Jones
  Lincoln Financial Advisors Corporation
  John Greg Schmidt   Wells Fargo Advisors Financial Network, LLC
  Stifel, Nicholas & Company, Inc
  Bradley Curtis Williams   J.P. Morgan Securities LLC
  Invest Financial Corporation
  Luis Alberto Zuniga

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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